Legal Ethics Opinions
Free state and local bar legal ethics opinions with plain-English summaries, full citations, and source links on every page.
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When a partner leaves a Texas firm to start his own practice, can the remaining lawyers keep his name in the firm name if he consents?
Per the Committee, no. A lawyer who leaves to keep practicing independently is not a retired or deceased member, so Rule 7.01(a)'s exception does not apply; keeping his name violates Rule 7.01(a) and …
Can a lawyer discuss a client's matter with a mentor or on a professional listserv outside the firm, and must the consulted lawyer check for conflicts first?
A lawyer may consult an outside lawyer or a listserv but must protect client confidentiality under Oregon RPC 1.6: general or genuinely hypothetical questions are fine, but if the facts could reveal t…
Can a plaintiff's lawyer personally agree, as a settlement condition, to indemnify the defendant against third-party claims to the settlement money, and can a defense lawyer demand it?
The opinion concluded that it is improper for a plaintiff's lawyer to personally agree, as a condition of settlement, to indemnify the opposing party against any and all third-person claims to the set…
Can a plaintiff's lawyer agree to personally indemnify the client's Medicare lien or other third-party obligation to settle the case?
No. A lawyer's promise to indemnify a client's obligation to a third party (such as a Medicare lien) as part of a settlement is a barred guarantee of financial assistance under Rule 1.8(e), which has …
Can a Florida lawyer disclose a deceased client's confidential information to the estate's personal representative, beneficiaries, or heirs?
It depends on the circumstances. A lawyer may disclose confidential information to serve the deceased client's interests unless the client previously instructed otherwise, and doubt should be resolved…
Which employees of an opposing organization can a lawyer contact directly under Rule 4.2 during litigation?
Only employees with managerial authority to speak for and legally bind the organization are off-limits under Rule 4.2. The opinion adopts the narrow managing-speaking-agent test, so other employees ma…
Does a lawyer have to give a former client the original file, or can the lawyer keep the original and give a copy?
The original. The opinion concludes the file belongs to the client, so the lawyer must provide the original file (not a copy) to the client or new counsel on request; the lawyer may keep a copy at the…
Can a North Carolina lawyer advertise in a practice area where he lacks experience if he plans to associate experienced counsel?
Yes, with limits. The opinion concludes a lawyer may advertise for work in an area he lacks experience in only if he intends to promptly become competent by study and investigation, or to associate an…
Can a North Carolina lawyer represent a criminal defendant when the lawyer must cross-examine a current (or former) client who is a prosecuting witness?
Generally no. The opinion concludes that if a lawyer must cross-examine a current client who is a prosecuting witness, the lawyer has a concurrent conflict under Rule 1.7 that is usually nonconsentabl…
Can a North Carolina lawyer sell financial products and services to his own legal clients through an ancillary business and earn fees or commissions?
Yes, with safeguards. The opinion concludes a lawyer may provide financial services to his legal clients through a separate ancillary business and receive fees or commissions, because the 2003 amendme…
When a lawyer or law clerk moves firms, can they share which clients and matters they worked on so the new firm can check conflicts?
Yes. The opinion concludes a hiring firm may ask an incoming lawyer or former law clerk to identify prior client matters to detect conflicts, with disclosure limited to what is reasonably necessary; c…
Can a lawyer list membership in a self-laudatory organization like the Million Dollar Advocates Forum on firm letterhead, and is a disclaimer required?
The opinion concludes letterhead is a communication about the lawyer's services subject to Rule 7.1, so a lawyer may list a self-laudatory membership on letterhead only if the organization meets the 2…
Can a personal injury firm charge for home or hospital visits on top of a contingency fee if it advertises free consultations?
The opinion concludes a firm may charge the actual travel expense of an out-of-office consultation in addition to a contingent fee, but may not charge a flat amount untethered to actual cost, and must…
Can a lawyer who represented a party in a partition case then serve as the court-appointed commissioner who sells or divides the property?
The opinion concludes a lawyer may serve as commissioner for a partition sale only after terminating the representation, with the client's written informed consent and a finding the lawyer can act imp…
Can a lawyer contact a former client directly to collect fees or get the file when the client now has new counsel?
Not without successor counsel's consent, the opinion concludes. Rule 4.2 bars a lawyer, even one acting pro se on her own behalf, from contacting a former client she knows is represented by new counse…
When can a lawyer disclose a decedent's estate information to the named beneficiaries without the current client's consent?
Information that is 'generally known' (the death, the lack of a probate filing) may be disclosed, but details learned only through the representation stay confidential. As the decedent's former lawyer…
Can a lawyer advise a client to ask a represented adverse party to do something, and can the lawyer hand that party a document to sign?
A lawyer may advise her client to urge a represented adverse party to take action (here, release an attachment) without violating Rule 4.2 or Rule 8.4(a), because parties may communicate directly. But…
What must an appointed criminal defense lawyer do after learning the client lied about being indigent to get a court-appointed lawyer?
The lawyer must urge the client to correct the false affidavit. If the client refuses, the lawyer may serve without compensation; if unwilling to do that, the lawyer must seek to withdraw and disclose…
Can a lawyer withdraw and dispose of escrowed settlement property when the client stops responding and the settlement cannot be completed?
The client's silence is good cause to withdraw under Rule 1.16, but the lawyer also holds escrowed property as a fiduciary to both sides. The opinion has the lawyer notify both parties and, failing ag…
Can a law firm's advertisement include a photo of the whole firm, including paralegals and other nonlawyer staff?
Yes, if the ad as a whole is not misleading. A firm photo that includes nonlawyer employees is permitted under Rule 7.1 so long as it does not create a false impression about the firm's size, its ethn…
Can a firm keep a former partner's name in the firm name after he leaves to become a company's general counsel?
No. A former partner who continues to practice law elsewhere, such as a corporation's general counsel, has not 'retired' under Rule 7.5(b), so keeping his name in the firm name is misleading and prohi…
Can a lawyer who represents a bank in a vendor financing program also represent the equipment vendor in that program?
Yes, with informed written consent. The bank and the vendor have differing interests on the lease terms (the vendor wants to close the deal, the bank wants its credit standards met), so Rule 1.7 (or R…
Can a Maine lawyer put a jury-trial waiver for future lawyer-client disputes in the engagement letter?
Yes, but only with safeguards. The Rules do not prohibit a jury-waiver clause for future lawyer-client disputes, but the client's informed consent must be confirmed in writing and the client must be a…
Can a Texas lawyer privately lobby members of a state agency's board about a proposed rule, and about a permit the lawyer's client plans to seek under that rule?
Per the Committee, ex parte contact about a proposed regulation is allowed because the board is acting legislatively, but once the client decides to seek a permit the matter is pending and Rule 3.05 b…
May a lawyer for a congressional committee subpoena a witness who has said in advance that he will invoke the Fifth Amendment to every question?
The opinion declines a request to vacate Opinion 31 (1977) and concludes that, under the D.C. Rules as under the former Code, a lawyer for a congressional committee violates the Rules by compelling a …
When an insurer asserts a PIP subrogation claim to settlement funds but the client tells the lawyer to pay only the client, what must the lawyer do with the money?
The committee concluded the lawyer must hold the disputed funds in trust or interplead them until the client-insurer dispute is resolved, because the insurer's specific, non-frivolous contractual clai…
Must a criminal defense lawyer give a former client a copy of redacted discovery from the file after sentencing, on request?
The lawyer must surrender the file a former client is entitled to under RPC 1.16(d), but for discovery materials that obligation is conditioned on first complying with the criminal-rule restrictions o…
Can a lawyer represent a client who uses third-party (non-recourse) litigation funding?
The opinion concludes it is not unethical per se, but the lawyer must be alert to several issues: candid advice on costs and alternatives under Rule 2.1, possible waiver of privilege from sharing case…
When a California lawyer needs to serve a discovery subpoena on a current client of the lawyer's firm in an unrelated matter, is that a conflict, and can it be cured by informed written consent?
Per California Formal Opinion 2011-182, serving a discovery subpoena on a current client is adverse and a conflict, but the firm may accept the new representation if it obtains informed written consen…
Can a California lawyer's consent under the no-contact rule (former Rule 2-100) be implied rather than express, and what factors determine whether it has been?
Per California Formal Opinion 2011-181, consent under former Rule 2-100 may be implied from the facts and circumstances of the communication, weighed against a non-exhaustive nine-factor list includin…
When does a California lawyer violate the rule against inducing a substantial gift from a client?
Per California Formal Opinion 2011-180, a lawyer who demonstrates by words or conduct an intent to cause a client to give the lawyer a substantial gift violates former Rule 4-400, and whether a gift i…
Can a criminal defense lawyer advise a client to waive ineffective-assistance-of-counsel claims in a plea deal, and can a prosecutor demand that waiver?
No to both. Advising a client to waive IAC claims against that same lawyer violates Rules 1.7(b) and 1.8(h), and a prosecutor who requires the waiver violates Rule 8.4(a).
Can a plaintiff's lawyer agree to personally indemnify the defendant for the client's unpaid liens as a condition of settlement?
Generally no. A lawyer may not personally indemnify the opposing side for unpaid liens unless the liens are known and certain in amount at settlement; a defense lawyer may not demand such open-ended i…
At a real estate closing, can the buyer's lawyer who prepares the settlement statement charge the seller (a non-client) a 'payoff handling fee' for transmitting the mortgage payoff?
Yes. The buyer's lawyer may add a reasonable payoff handling fee to the seller's side of the settlement statement even with no attorney-client relationship with the seller, because Rule 1.5(a)'s reaso…
A trustee's lawyer will likely be called as a witness; how far can the lawyer keep representing the trustee?
The lawyer may handle all pre-trial work up to the commencement of trial but may not act as trial counsel at any point during the trial, even before being called. The lawyer may also continue represen…
May a lawyer use a 'daily deal' website (like Groupon) to sell vouchers redeemable for discounted legal services such as preparing a will?
Yes. Using a daily-deal website to sell vouchers for discounted legal services does not violate the Rule 5.4(a) bar on sharing fees with a non-lawyer; the site's percentage is a permitted advertising …
Can a lawyer who is likely to be a necessary trial witness keep representing the client before trial, and can the lawyer represent two clients in the same matter?
Yes to both, with conditions. Rule 3.7 only bars a likely necessary witness from acting as an advocate at trial, so the lawyer may handle pre-trial work and must inform the client of the limit under R…
May a lawyer who works as a federal investigator contact a represented target of an investigation directly, even though the target is represented by counsel?
Yes. Rule 4.2 bars contact with a represented person only by a lawyer who is 'representing a client.' A federal investigator who happens to be a lawyer is not representing a client in that role, so Ru…
Can a criminal defense lawyer represent a defendant when the lawyer's spouse is a police-officer witness for the prosecution?
No. The lawyer has a non-waivable personal-interest conflict under Rule 1.7(a)(2) and cannot reasonably provide competent, diligent representation, so the conflict cannot be cured by consent. The disq…
May a lawyer offer free basic powers of attorney to the public in exchange for the client donating at least $25 to a charity or religious organization?
Yes. The program does not violate the rules as long as the lawyer does not let the charity influence his independent judgment. The donations are not legal fees, are not an improper referral fee under …
May a part-time county attorney represent criminal defendants in the same county, where the sheriff's office officers investigate those cases?
Only if he gives the County Sheriff's Office no legal advice on criminal matters. If the county attorney provides any criminal-law advice to the sheriff's office, representing criminal defendants in t…
Can a lawyer sign a confidentiality agreement promising never to use a consultant's legal ideas for other clients?
No, where the ideas are legal interpretations the lawyer would use for other clients. Signing such an agreement creates a concurrent conflict under Rule 1.7 with the lawyer's other and future clients,…
When a lawyer is a pro se plaintiff, does Rule 4.2 bar him from contacting the opposing party or its insurer directly, and can he have his non-lawyer spouse make the contact instead?
Rule 4.2 applies to a lawyer representing himself pro se, so he may not directly contact a represented opposing party (here, the club) without its counsel's permission; if the insurer is unrepresented…
Can a lawyer advise and assist a client on conduct that Arizona's medical-marijuana law permits but federal law still makes a crime?
Yes, within limits. The opinion concluded that a lawyer may counsel and assist a client on activities the Arizona Medical Marijuana Act expressly permits, despite the federal ban, if no court has inva…
Must a lawyer serving as a mediator report another lawyer's dishonesty learned during the mediation, despite mediation confidentiality statutes?
Yes. A lawyer who serves as a mediator and comes to know that a party's lawyer violated Rule 8.4(c) must report it under Rule 8.3(a), and the confidentiality provisions of the Uniform Mediation Act an…
Can a Virginia lawyer join a networking group whose members trade client leads, where membership depends on how many leads you pass?
No. The committee concludes that membership in a lead-sharing group that conditions membership on passing leads trades things of value for referrals in violation of the solicitation rules, and risks c…
What ethical duties does a Virginia lawyer have when outsourcing legal or support work to lawyers or nonlawyers outside the firm, including overseas providers?
A lawyer may outsource work to a lawyer or nonlawyer outside the firm if the lawyer supervises the work for competence and to avoid aiding unauthorized practice, protects client confidences, bills app…
Is a law firm's educational newsletter or website an 'attorney advertisement' that must carry the 'Attorney Advertising' label and the exact prior-results disclaimer?
It depends on the communication's purpose, content, and audience. If it is an advertisement, it must be labeled 'Attorney Advertising' (including on a website home page), and if it makes results or co…
Can a lawyer represent the owner of a mortgage note while also serving as an officer of MERS, the record mortgagee, to sign an assignment and bring the foreclosure in the owner's name?
Yes. Because MERS holds no economic interest and the lawyer was hired and paid by the note owner, there is no significant risk to the lawyer's judgment under Rule 1.7(a)(2), and any conflict was cured…
When does talking to a prospective client who does not retain you disqualify you from representing the other side?
The opinion concludes that under SCR 20:1.18(c) a lawyer who consulted a prospective client may later represent an adverse party in the same or a substantially related matter unless the lawyer receive…
To pressure a client to pay an unpaid bill, can a New Hampshire lawyer report the debt to the IRS as forgiven, or report the nonpayment to an agency that regulates the client?
No. The opinion concludes that telling the IRS the fees were forgiven, or telling the client's regulator about the unpaid bill, discloses confidential information in violation of Rules 1.6 and 1.9 and…
Does Montana allow limited-scope or 'unbundled' legal representation?
Per this opinion, yes under existing Rule 1.2(c) when the limitation is reasonable; the Ethics Committee recommended against proposed amendments to expand unbundling.
Can a lawyer for an estate administrator agree to a surety company's conditions for issuing a bond, such as exercising joint control over estate assets, paying the bond premium, and reporting the client to the surety?
No. The Committee concluded a lawyer may not comply with these conditions: joint control over estate assets and protecting the surety create conflicts under RPC 1.7(a)(2) and 2.1, reporting the client…
Can a lawyer communicate directly with employees of a represented government agency about matters the agency's lawyer is not handling?
Only a defined group of agency people is off-limits, and only on matters the agency lawyer is known to represent: officers, directors, managers, employees directly involved in the matter, and employee…
Can an Ohio judge be social media 'friends' with a lawyer who appears before the judge?
The opinion concluded that a judge may be a social networking 'friend' with a lawyer who appears as counsel before the judge, but must use the site carefully to comply with the Ohio Code of Judicial C…
If a lawyer keeps a former client's files only in electronic form, must the lawyer provide paper copies on request, and who pays for the conversion?
The opinion concludes that there is no ethical prohibition on maintaining client records solely in electronic form (subject to some document-specific restrictions), and that lawyers and clients may ma…
I used to handle enforcement and cleanup litigation against a contaminated property's owners and operators while working for a state agency. Can I now represent someone who wants to buy that same property?
Yes, on these facts. The panel held that representing the DEM in enforcement, court, and bankruptcy proceedings against the former owners and operators over contamination is not the same 'matter' unde…
Can a plaintiff's lawyer agree to personally indemnify the defendant against liens on settlement payments?
No. The opinion concludes that plaintiff's counsel may not agree to hold the defendant harmless from third-party claims (such as insurer or Medicare liens) arising out of settlement payments, because …
May a lawyer for an insolvent corporation tell the corporation's creditors that the owner-manager is breaching his fiduciary duty, when the owner has told the lawyer to stay silent?
Per the Committee, only in narrow circumstances. The lawyer may reveal the advice to creditors only if the breach results in fraud by the corporation, the lawyer has tried and failed to dissuade the c…
When an associate leaves a Maine firm, who has to keep the client's file for the 8-year retention period?
Rule 1.15(f) does not assign file-retention responsibility to either the departing attorney or the former firm; it requires that one of them return or safeguard, for at least 8 years, the information …
How these opinions are useful
- Understand the rules: Ethics opinions interpret how the rules of professional conduct apply to real fact patterns.
- Persuasive authority: Not binding like court discipline decisions, but state bar formal opinions carry substantial weight.
- Working guidance: The committee shows lawyers what the rule actually requires day to day (conflicts checks, fee letters, intake screens, withdrawal mechanics).
- Practice research: Cite ethics opinions in fee agreements, engagement letters, conflict waivers, and disqualification motions.